reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of
reference. Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of the
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) 6. 1 - 39/2553 23 2553 8 1. 2. (Governance and Leadership) 3. (Relevant Ethical Requirements) 4
, conditions, and procedures prescribed by the SEC Office. The application for approval under Paragraph 1 shall comprise the followings: (1) application for approval of the qualifications of the applicant; and
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies